MANUAL OF POLICIES AND PROCEDURES DIVISION 19 ... · CHAPTER 19-000 CONFIDENTIALITY OF RECORDS 19-001 CONFIDENTIALITY OF RECORDS - OBJECTIVE AND SCOPE ... .2 Federal Tax Information.21

CHILD WELFARE SERVICES PROGRAMHandbook REQUIREMENTS Handbook

MANUAL OF POLICIES AND PROCEDURES

DIVISION 19 CONFIDENTIALITY OF INFORMATIONCHAPTER 19-000 CONFIDENTIALITY OF RECORDS

19-001 CONFIDENTIALITY OF RECORDS - OBJECTIVE AND SCOPE

In accordance with Welfare and Institutions Code (W&IC) Section 10850 and 45 CFR Section205.50(a), these regulations were created to protect the applicants and recipients against identification,exploitation or embarrassment that could result from the release of information identifying them ashaving applied for or having received public assistance. They also outline under what circumstancesand to whom such information may be released. These regulations pertain to all records, papers, filesand communications pertaining to the following public social service programs, both aid and services,administered or supervised by the State Department of Social Services (SDSS), AFDC (including WIN,and Child Welfare Services), APSB, SSP (all segments), and Title XX, unless otherwise indicated.These regulations bind public and private agencies with whom the county contracts to perform any partof the covered public social service programs. The SDSS programs not covered by these regulationshave their own rules regarding records and confidentiality which are to be referred to when dealingwith such records, e.g., food stamps in Section 63-201.3 and Adoptions in Title 22 of the CaliforniaAdministrative Code. The term public social services programs is defined as both assistance and socialservice programs administered or supervised by SDSS or the State Department of Health Services.

19-002 INFORMATION THAT IS CONFIDENTIAL

.1 General

Names, addresses and all other information concerning the circumstances of any individual forwhom or about whom information is obtained is confidential and shall be safeguarded. This istrue of all information whether written or oral.

CALIFORNIA-DSS-MANUAL-CWSMANUAL LETTER NO. CWS-93-01 Issued 7/1/93

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No disclosure of any information, obtained by a representative, agent or employee of the county,in the course of discharging his or her duties, shall be made, directly or indirectly other than inthe administration of public social service programs. (This includes acknowledgement by awelfare department receptionist or telephone operator that a person is receiving assistance.)

Disclosure of information which identifies by name or address any applicant or recipient of publicsocial services to federal, state or local legislative bodies and their committees without suchapplicant or recipient's consent is prohibited. Such bodies include the United States Congress,the California State Senate and Assembly, city councils and county boards of supervisors.Exceptions to this rule are found in Section 19-004.3 of this division regarding audits and MPPSection 25-480, concerning discharge of accounts.

Both the release and possession of confidential information in violation of the rules of thisdivision are misdemeanors.

.2 Federal Tax Information

.21 Definition

For the purposes of this section, the term "tax information" means any information suppliedby the Internal Revenue Service (IRS), concerning a taxpayer's identity, the nature, source,or amount of his/her earned income, unearned income (including interest or dividends),payments, receipts, deductions, exemptions, credits, assets, liabilities, net worth, taxliability, tax withheld, deficiencies, overassessments, or tax payments.

.22 Confidentiality and Disclosure

No employee or former employee of the county who has or had access to tax information inany manner connected with his/her service shall disclose any tax information obtained byhim/her except for the purposes provided in Section 20-006.

.23 Safeguards

Counties shall establish the following safeguards in order to protect the confidentiality of,and to prevent the unauthorized disclosure of, tax information received from IRS:

.231 Establish and maintain a secure area or place in which IRS tax information shall bestored;

.232 Restrict access to the tax information only to persons whose duties orresponsibilities require access to this information;


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.233 Provide other such safeguards or controls as prescribed by IRS guidelines andnecessary or appropriate to protect the confidentiality of tax information;

.234 Report annually in a format prescribed by SDSS the safeguard procedures utilizedby the counties for ensuring that the confidentiality of tax information is beingmaintained; and

.235 The county shall destroy IRS source material upon the independent verification ofIRS tax information or upon completion of appropriate case action, whichever isearlier. Methods of destruction shall be those used for confidential material.

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Penalties for Unauthorized Disclosure of Tax Information

State Tax Information (Franchise Tax Board)

"Except as otherwise provided in this article, it is a misdemeanor for the FranchiseTax Board or any member thereof, or any deputy, agent, clerk, or other officer oremployee of the state (including its political subdivisions), or any former officer oremployee or other individual, who in the course of his or her employment or dutyhas or had access to returns, reports, or documents required under this part, todisclose or make known in any manner information as to the amount of income orany particulars set forth or disclosed therein."

Federal Tax Information (Internal Revenue Service)

a) Criminal Penalties

"It shall be unlawful for any person (not described in paragraph (1))willfully to disclose to any person, except as authorized in this title, anyreturn or, return information (as defined in Section 6103(b)) acquired byhim or another person under subsection (d), (i)(3)(B)(i), (l)(6), (7), (8), (9),(10), or (11), or (m)(2) or (4) of Section 6103. Any violation of thisparagraph shall be a felony punishable by a fine in any amount notexceeding $5,000, or imprisonment of not more than 5 years, or both,together with the costs of prosecution."

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b) Civil Damage

"If any person who is not an officer or employee of the United Statesknowingly, or by reason of negligence, discloses any return or returninformation with respect to a taxpayer in violation of any provision ofSection 6103, such taxpayer may bring a civil action for damages againstsuch person in a district court of the United States."

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19-003 NONCONFIDENTIAL INFORMATION

Statistical information and social data, that is not identified with a particular individual may be released.

Examples of information that may be released would include, but are not limited to such information asstatements of the number of recipients, total expenditures per program or administration, average grantfigures, and other general information concerning the case load as a whole.

19-004 RELEASE OF CONFIDENTIAL INFORMATION

.1 General Rule

.11 Confidential information may be released without the consent of the applicant/recipient,only for purposes directly connected with the administration of public social services exceptas specified in Section 19-004.4. Public social services are defined as aid or servicesadministered or supervised by SDSS or the State Department of Health Services.

.2 Contractors

Whenever a contract is entered into with a public or private agency which involves the release ofconfidential information, the contract shall contain a provision insuring that such information willbe used in accordance with the restrictions found in W&IC Section 10850 and this division.

.3 Public Officials


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.31 Certain public officials, and their duly appointed agents, and deputies, are entitled toexamine confidential information. The right of public officials, including law enforcementpersonnel, to examine public assistance records does not exist if the request is for apurpose not connected with the administration of the public social service programs.Examples of situations under which information may not be given out include but are notlimited to such things as traffic violations, tax fraud investigation, or criminal investigationsnot related to welfare except pursuant to Section 19-004.4. Both the release and possessionof confidential information in violation of these regulations is a misdemeanor. The officialswho are entitled to examine confidential information include but are not limited to:

.311 District Attorney or County Counsel

(a) In the administration of aid, it is necessary to disclose information to theseoffices when they are conducting investigations, prosecutions, criminal orcivil proceedings directly connected to public social services including childsupport services and the location of families in which the caretaker hasabducted or kidnapped the aided child(ren).

.312 State Department of Social Services, State Department of Health Services, andDepartment of Health, Education, and Welfare (HEW), and county welfaredepartments within the State of California.

(a) These agencies, their representatives and employees shall have access topublic social services records as needed in the administration of publicsocial services.

.313 County Auditor

(a) In addition to the authority to examine claims and other financialtransactions in the routine line of duty, the auditor may examine records asnecessary to satisfy himself/herself that fiscal accountability is beingmaintained and that progress relating to payment, claiming and repaymentof aid are proper and effective.

.314 Audits

(a) Federal, State and County auditors having direct or delegated authority areauthorized to examine records as necessary to perform fiscal audits and/orprocedure reviews. Legislative bodies and their committees authorized bylaw to conduct audits or similar activities in connection with theadministration of public social services shall be permitted to examinerecords.


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(b) Such committees include, but are not limited to, the California JointLegislative Audit Committee, the California Auditor General and theirstaff, and the United States General Accounting Office.

.315 Legislatures and their Committees

(a) Refer to Section 19-002 for the prohibition against release of confidentialinformation to legislatures without applicant/recipient consent. Anyreleases made to legislatures or their committees should be accompanied bythe warning that Welfare and Institutions Code Section 10850 makes theuse or release of the information for a purpose not directly connected withthe administration of public social services a misdemeanor.

.4 Exception to General Rule - Law Enforcement Officials

.41 Pursuant to the procedures and restrictions in Welfare and Institutions Code Sections10850.3 and 10850.7, law enforcement officials may be given otherwise confidentialinformation when:

.411 The applicant/recipient is deceased, Welfare and Institutions Code Section 10850.7.


(a) Welfare and Institutions Code Section 10850.7 provides:

Notwithstanding the provisions of Section 10850, an authorized employeeof a county welfare department may disclose confidential informationconcerning a public social services applicant or recipient to any lawenforcement agency where the applicant or recipient is deceased.Information that may be released pursuant to this section shall be limited tothe name, address, telephone number, birthdate, social security number,and physical description of the applicant for, or recipient of, public socialservices. A county welfare department may release the informationspecified by this section to any law enforcement agency only upon a writtenrequest from the head of the agency specifying that the applicant orrecipient is deceased and that the agency is otherwise unable to adequatelyidentify the deceased. The information specified may alternately bereleased by telephone, whereupon the head of the law enforcement agencyshall submit the request in writing within five days of the release.

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This section shall not be construed to authorize the release of a general listidentifying individuals applying for or receiving public social services.

The provisions of this section shall be operative only to the extent permittedby federal law. The section shall not apply to, but shall exclude the Medi-Cal program established pursuant to Chapter 7 (commencing with Section14000) and following.

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.412 A felony arrest warrant has been issued for the applicant/recipient, Welfare andInstitutions Code Section 10850.3.


Welfare and Institutions Code Section 10850.3(b) provides in part:

A county welfare department may release the information specified by this sectionto any law enforcement agency only upon a written request from the agencyspecifying that a warrant of arrest for the commission of a felony has been issued asto the applicant or recipient. This request may be made only by the head of the lawenforcement agency, or by an employee of the agency so authorized and identifiedby name and title by the head of the agency in writing to the county welfaredepartment.

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(a) Information releaseable pursuant to a felony arrest warrant shall be furtherlimited to data contained within disbursement records for AFDC, SpecialCircumstances, and social service cases other than Child Welfare Servicerecords. Release shall be limited to name, address, telephone number,birthdate, and social security account number (where such items arepresent) from the record of disbursement.

(1) No data shall be released from the case record.

(2) No data shall be released from SSI/SSP records except for SpecialCircumstances.

(3) This section shall not be construed to limit releases pursuant toPenal Code Section 11166.


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(b) Food Stamp and Adoption records, including AAP, are not within the scopeof this Division.

.5 Release of Confidential Information in Conjunction With a Lawsuit

If an applicant/recipient or caretaker relative becomes a party or plaintiff in any suit against theState of California, any political subdivision of the state, or any agency administering the lawsgoverning the administration of public social services and such suit challenges the validity of thelaws governing the administration of public social services or the manner in which the laws havebeen applied, the attorney representing the state, political subdivision, or agency shall be givenaccess to all files and records relating to the plaintiff. Such files and records may be disclosed tothe court having jurisdiction of the lawsuit insofar as they are relevant to the determination of anyfactual or legal issue in the case. In such cases, it should be brought to the court's attention,when presented with the requested information, of the state law and policy against furtherdisclosure of the information.

On notice of court action ordering records to be produced, where the action is not connected withthe administration of public social services, (see 19-002), the county shall notify the appropriatelegal officer (county counsel). Such legal officer shall be requested to take immediate action tosafeguard the confidential nature of the records.

.6 Release to Schools

.61 Confidential case information may be released to county superintendents of school andsuperintendents of school districts, and their representatives, as necessary for theadministration of federally-assisted programs which provide assistance in cash, in-kind, orservices directly to individuals on the basis of need. If such confidential information isreleased, the superintendent shall be informed of the criminal prohibition against the use ordisclosure of such information for any purpose other than that for which it was obtained.

.62 Information concerning the number of AFDC families living within a particular schooldistrict requested to support entitlement to funds under the Elementary and SecondaryEducation Act (ESEA) may be released to authorized representatives of the school district.A signed agreement with the school district stating that the confidential informationobtained will only be used for purposes of fund claiming under the ESEA and that thedistrict understands that there is a criminal penalty for release or use by the school districtfor any other purpose shall be obtained. This prohibition includes the use of theconfidential records to identify applicants or recipients to school teachers andadministrators.


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.7 Disclosure to Parents Who Wish to be Reunited With Their Family

.71 Where a person claims to be an absent parent, her/his identification should be verified.

.72 No acknowledgement to the requesting parent that the child(ren) or other parent arereceiving aid may be made.

.73 If the family is aided, the aided caretaker shall be contacted for permission to releaseinformation. If permission is granted, the information shall be released.

.74 If the absent parent alleges that the aided parent has kidnapped, abused or neglected thechild(ren), the case should be referred to the child protective services for appropriateaction. The name and address of the applicant or recipient may be released to lawenforcement officials for the purpose of locating abducting parents and the abductedchild(ren).

.8 Release to Research Organizations

Information requested by research organizations may be released without authorization of theapplicant/recipient. Research organizations requesting information must guarantee in writing thatthey will meet the conditions and protections of this division and Welfare and Institutions CodeSection 10850.

19-005 RELEASE TO APPLICANT/RECIPIENT OR AUTHORIZEDREPRESENTATIVE

.1 Information Supplied By the Applicant/Recipient

Information relating to eligibility that was provided solely by the applicant/recipient contained inapplications and other records made or kept by the county welfare department in connection withthe administration of the public assistance program shall be open to inspection by theapplicant/recipient or his/her authorized representative.

.2 Authorizations

For purposes of this section, an authorized representative is a person or group who hasauthorization from the applicant/recipient to act for him/her.

.21 Written Authorizations

Except, as otherwise provided, all authorizations are to be written.


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Written authorizations shall be dated and shall expire one year from the date on which theyare given unless they are expressly limited to a shorter period or revoked. In casesinvolving pending appeals or state hearings, the time period, unless the authorization isexpressly limited or revoked, shall extend to the final disposition of the issue involved inthe fair hearing or, where applicable, by the courts.

When the authorized representative and the applicant/recipient, or responsible relativecaring for the AFDC child are both present, no written authorization is required for thatparticular occasion.

.22 Telephone Authorizations

Telephone authorizations may be accepted in lieu of a written authorization where thecircumstances insure that the applicant or recipient has adequately identified himself orherself to the county. A telephone authorization is temporary and should be followed up bya written authorization.

Acceptable items of identification are to be determined by the county but may include suchitems as case numbers, driver's license numbers, social security account numbers or themother's maiden name. The procedure for telephone authorizations will usually involve theapplicant or recipient first calling their eligibility worker and notifying the worker of whomwill be calling on their behalf. This call will authorize the release of confidentialinformation. Examples of typical circumstances for releasing confidential information bytelephone authorization include inquiries from medical offices, welfare rights organizationsor legislators calling on behalf of the recipient.

.3 Applicant/Recipient Written Requests for Assistance to Legislators

Written inquiries to members of legislative bodies signed by applicants or recipients of publicsocial services concerning the receipt of public social services may serve as authorization forrelease of information sufficient to answer such an inquiry.

.4 Release of Information in Conjunction With a State Hearing

The applicant/recipient or his/her attorney or authorized representative may inspect the caserecords including the entire case narrative relating to the applicant or recipient which are held byDSS, DHS, or any agency supervised by DSS with the following exceptions listed below inSection 19-006.


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19-006 INFORMATION WHICH MAY NOT BE RELEASED TO THEAPPLICANT/RECIPIENT

Privileged Communications

Portions of the applicant/recipient's record which would qualify as privileged communications asdefined by the Evidence Code. This would include Sections 954 (lawyer-client), and 1041 (identity ofinformer).

NOTE: The physician-patient privilege in Evidence Code Section 990, et seq., belongs to thepatient and may be waived by him/her. The right of the patient to inspect his/her records isconfined to record maintained by the CWD and does not extend to the records kept by thephysician.

19-007 ELIGIBILITY DETERMINATIONS

.1 Collateral Contacts in AFDC and APSB

Pursuant to EAS Sections 40-157.22 and 40-181.31 individual consent forms, signed by theapplicant or recipient are required for each contact made during the evidence gathering process.An exception to this rule is found in MPP Section 20-007.36 which exempts SIUs from therequirement of permission to contact collateral sources.

.11 Permission

If the applicant or recipient does not wish the county to contact a private or public source inorder to determine eligibility, the applicant or recipient shall have the opportunity to obtainthe desired information or verification himself or herself.

.12 Acceptability and Discontinuances

If the information or verification is unacceptable to the county and the applicant refuses togrant the county permission to collect the information, the applicant will be given theopportunity to withdraw his or her application or the application shall be denied fornoncooperation pursuant to EAS Section 40-105.11. Recipients who refuse to give consentfor a collateral contact for which no acceptable evidence or verification has been obtainedby the recipient, shall be given the opportunity to withdraw from the program or shall beterminated pursuant to EAS Section 40-105.11.

.13 Nothing in .11 or .12 shall prevent an investigation for fraud by the SIU.

.2 Title XX Services -- Outside Contacts by Agencies Other Than The County Welfare Department


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.21 When the provider agency determines eligibility, it shall inform the applicant or recipientthat, if it is necessary to contact outside sources (including employers) and the applicant orrecipient wishes to keep the service confidential, he/she is entitled to request that suchcontacts be made by the county, and

.22 The county, upon notification of the individual's request, shall make the outside contactsand relay the information to the provider.

While a client may not object to such contacts, he or she may object to a contact's learningof the particular kind of service sought. To the maximum extent possible, such inquiriesshould not reveal the specific nature of the service sought by the client. (45 CFR Section228.6(f)(1) and (2).)

19-008 RECORD KEEPING

The purpose of public assistance and social service records is to evidence eligibility and delivery ofpublic social services. The applicant's or recipient's record should only contain facts relevant to his orher case.

CHAPTER 21-100 NONDISCRIMINATION IN STATE AND FEDERALLY ASSISTEDPROGRAMS

21-101 PURPOSE

The purpose of Division 21 is to effectuate the provisions of Title VI and Title VII of the Civil RightsAct of 1964, Section 504 of the Rehabiliation Act of 1973, as amended, the Age Discrimination Act of1975, the Food Stamp Act of 1977 and other applicable federal and state laws to ensure thatemployment practices and the administration of public assistance and social services programs arenondiscriminatory, and that no person shall, because of race, color, national origin, political affiliation,religion, marital status, sex, age or handicap be excluded from participation in or be denied the benefitsof any program receiving federal or state assistance. Administrative methods/procedures which havethe effect of subjecting individuals to discrimination or defeating the objectives of these regulations areprohibited.

21-103 SCOPE OF DIVISION

These requirements shall apply to the State Department of Social Services (SDSS), all county welfaredepartments and all other agencies receiving federal or state assistance through the Department ofSocial Services for the administration of Public Assistance, Food Stamps, Child Support Enforcementand Social Services.

.1 Civil Rights requirements addressing the Child Support Program in the county District Attorney'soffices are covered in separate plans of cooperation (see MPP Chapter 11-600).


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.2 The State Department of Social Services reserves the right to review, copy or otherwise obtain alldata, records, reports, case files and other materials determined necessary in the conduct ofcomplaint investigations and/or compliance reviews involving all agencies subject to therequirements of this division.

21-104 DEFINITIONS

The following definitions shall apply to the terms used in this Division:

(a) Accessibility - The accommodation of public facilities for use by handicapped persons.

(b) Agency - County welfare departments, other governmental entities, private parties or individualsreceiving state or federal assistance through SDSS for the provision of services.

(c) Authorized representative - An individual or group that has written authorization from theapplicant/recipient to act in his/her behalf (see MPP, Division 19, Section 19-005.2).

(d) "Culturally aware persons" are those who possess knowledge and understanding of culturalenvironments, religious beliefs, life styles, self-concepts and language characteristics of thepopulations they serve. Such knowledge is necessary to effectively communicate and provide thesame level of service being provided to the welfare population at large.

(e) "Handicapped person" is any person who has a physical or mental impairment which substantiallylimits one or more major life activities, has a record of such impairment or is regarded as havingsuch an impairment.

(1) "Physical or mental impairment" means:

(A) Any physiological disorder or condition, cosmetic disfigurement or anatomical lossaffecting one or more of the following body systems: neurological,musculoskeletal, special sense organs, respiratory including speech organs,cardiovascular, reproductive, digestive, genitourinary, hemic and lymphatic, skinand endocrine; or

(B) Any mental or psychological disorder, such as mental retardation, organic brainsyndrome, emotional or mental illness and specific learning disabilities.

(2) "Major life activities" include functions such as caring for one's self, performing manualtasks, walking, seeing, hearing, speaking, breathing, learning and working.


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(3) "Has a record of such an impairment" means has a history of, or has been misclassified ashaving, a mental or physical impairment that substantially limits one or more major lifeactivities.

(4) "Is regarded as having an impairment" means:

(A) Has a physical or mental impairment that does not substantially limit major lifeactivities, but that is treated by the agency as constituting such a limitation;

(B) Has a physical or mental impairment that substantially limits major life activitiesonly as a result of the attitudes of others toward such impairment; or

1. Has none of the impairments defined in this section but is treated by anagency as having such an impairment.

(f) International Symbol of Accessibility - The symbol specified in the State Building Code, Title 24,Part 2, Section 2-1720 used to identify facilities accessible to handicapped persons.

(g) Major Occupational Group - Groups shall include, but are not limited to, the following generalpositions/classifications: Social Service Supervisors, Eligibility Supervisors, Social Workers,Eligibility Workers, Welfare Aids, Receptionists, Clerical Employees. Agency personnel whoseposition/classification is not included, but whose primary duties/responsibilities correspond to anyone of the above shall be included in that major occupational group.

(h) "Non-English-speaking" persons are defined as those whose primary language is other thanEnglish and which language must be used to effectively communicate program information andrequirements. Sign language is subject to this definition.

(i) "Public contact positions" include, but are not limited to, the following positions and activities,regardless of particular job classification or title: agency employees assigned to the front desk orregistration counter, telephone operators, eligibility workers/supervisors, social serviceworkers/supervisors, welfare service aides, vocational counselors, homemakers, investigators,and any employee providing interpretive service on a continuing or as needed basis.

(j) "Qualified bilingual employee" is defined as an employee who, in addition to possessing thenecessary qualifications for the particular classification, is certified through an SDSS approved oradministered process to be proficient in and will use oral and/or written communication in thenon-English language of the persons to be served. This definition shall also apply to anemployee who is certified in the use of sign language to communicate with hearing-impairedpersons.


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(k) Sign Language - the use of fingers and hands by deaf and hearing impaired persons tocommunicate.

(l) "Substantial Number". For the purposes of this Division, "substantial number" is defined as fivepercent or more non-English-speaking or hearing-impaired persons (see 21-115.12).

21-107 DISSEMINATION OF INFORMATION

.1 General Requirements

Each agency shall take appropriate steps to inform all applicants, recipients and other persons,including those whose primary language is other than English, and those with impaired hearing orvision or other disabling conditions, of the provisions of this division and its applicability to theprograms for which the agency receives federal or state assistance. Such notification shall alsoidentify the employee responsible for the agency's compliance with this division. If notimmediately available this information must be provided within ten days of the date requested.

.2 Specific Methods to be Utilized

.21 Posters

.211 Posters on nondiscrimination provided by the Department of Social Services shallbe prominently displayed in all waiting rooms and reception areas. The countywelfare department shall place on the posters the telephone number of the person inthe agency who is responsible for processing discrimination complaints.

.212 All instructional and directional signs posted in waiting areas and other placesfrequented by a substantial number of non-English-speaking applicants/recipientsshall be translated into appropriate languages. Such signs, or an additional sign,shall state that applicants/recipients may request aid or services in their primarylanguage.

.22 Pamphlets

.221 Pamphlets supplied by SDSS entitled "Your Rights Under California WelfarePrograms" shall be made available in all CWD waiting rooms and reception areasand shall be distributed and explained to each applicant/recipient at intake andredetermination of eligibility. The pamphlets, as available from SDSS, shall be inthe primary languages of the CWD's applicant/recipient population.


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.23 Notice

The agency shall implement procedures to ensure that interested persons, including personswith impaired vision or hearing or other disabling conditions, can obtain information whichincludes, but is not limited to the following:

.231 Existence and location of services

.232 Activities and services accessible to handicapped persons

.233 Basic eligibility requirements for public assistance

.234 Prohibited acts of discrimination

.235 Procedures for filing discrimination complaints

21-109 DISCRIMINATORY PRACTICES PROHIBITED

.1 In administering programs to which this division applies, agencies may not, on the basis of race,color, national origin, religion, political affiliation, marital status, sex, age or handicap, directlyor through contractural, licensing, or other arrangements:

.11 Provide aid, benefits, or services to an individual or group which is different than thatprovided to others unless such action is necessary to provide qualified individuals or groupswith aid, benefits, or services that are as effective as those provided to others. Theexclusion of an individual or group from the benefits of a program limited by federal statuteor executive order to a specific class of individual or group is not prohibited.

.12 Deny an individual the opportunity to be a member of an advisory board which is anintegral part of any program.

.2 Location of Facilities

In determining the location of a facility, agencies shall not make selections which have the effectof excluding individuals from, denying them the benefits of, or subjecting them to discriminationunder any programs to which this regulation applies.

.21 When units of the total available services are relocated to a new facility beyond the presentfacility's program area, the agency shall ensure that services are provided in a mannerequally as effective as were provided in the central facility.


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.22 Prior to relocating a facility or units of a facility, a determination shall be made of otheralternative services that will remain in the area, and the effect of the proposed relocation onthe community.

.23 When selecting the location for a facility, the agency shall consider the availability oftransportation (public and private) used by the recipient population.

.24 When selecting the location for a public facility, the agency shall select a buildingaccessible to handicapped and aged persons.

.3 Employment Practices

To ensure equal opportunity to, and nondiscriminatory treatment of, present and potentialemployees, discrimination on the grounds of race, color, national origin, religion, politicalaffiliation, sex, marital status, age or handicap is prohibited. Discriminatory practices in thehiring, compensation, benefits and firing practices are among the employment practices subject tothis requirement, to the extent that such practices tend to exclude individuals from participation ina program or deny them the receipt of benefits.

21-111 ACCESSIBILITY OF FACILITIES


.1 The State Building Code, Title 24, Parts 2, 3, and 5, of the California Administrative Code,contains the regulations governing structural accommodations for handicapped persons in publicfacilities.

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.2 When public areas (reception, waiting room, interview booth) public restrooms, employeerestrooms, and public drinking fountains are provided, they shall be accessible to handicappedpersons and identified by the international symbol of accessibility in compliance with the StateBuilding Code. When parking is provided to the general public, it shall be accessible tohandicapped persons pursuant to local ordinance and/or the State Building Code.

21-115 PROVISION FOR SERVICES TO NON-ENGLISH-SPEAKING ANDHANDICAPPED APPLICANTS AND RECIPIENTS

Agencies shall ensure that effective bilingual services are provided to serve the needs of the non-English-speaking population. This need shall be met as indicated below.


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.1 A sufficient number of qualified bilingual employees shall be assigned to public contact positionsin each program and/or location serving a substantial number of non-English-speaking persons.These employees shall have the language skills and cultural awareness necessary to communicatefully and effectively and provide the same level of service to non-English-speakingapplicants/recipients as is provided to the client population at large.

.11 The number of public contact positions in each major occupational group shall bedetermined for each program and/or location whose non-English language cases equal orexceed five percent of the total cases for each program or location.

.12 In determining this percentage, primary language groups shall be considered individually,rather than cumulatively.

.13 To determine the percentage of non-English-language cases in any program and/orlocation, divide the number of ongoing (continuing) non-English-language cases for eachprimary language group by the total ongoing (continuing) cases in that program and/orlocation.

.14 To determine the required number of biingual employees in a program and/or location,multiply the percentage of non-English-language cases by the number of public contactpositions in each major occupational group in that program and/or location.

If application of the formula results in a whole number plus a fraction of less than one-half,it shall be rounded to the next lower number, e.g., 1.49 = 1.0. If the resultant fraction isone-half or greater, it shall be rounded to the next higher number, e.g., 1.50 = 2.0.


EXAMPLE AFDC Program - Main Office

20 EWsx.08 Spanish Language Case Percentage1.60 Equals Two Qualified Spanish Speaking

EW Contact Positions

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.141 When the computation (to determine required bilingual staffing) results in a needfor less than one full-time position for a major occupational group in a programand/or location, the agency may provide services through the use of a qualifiedbilingual employee from another program within the same location.


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EXAMPLE:

District Office

AFDC NAFS SOCIAL SERVICES

Spanish Language Spanish Language Spanish Language Cases 20% Cases 25% Cases 10%Total EWs x1 Total Ews x2 Total Ews x1Required .2 Required .50 Required .1

In the example above, one full time Spanish-speaking worker in any program wouldsatisfy the requirements for all programs, provided that the worker would beavailable to interpret for the other two programs.

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.15 When the percentage of non-English cases in a program and/or location is less than fivepercent, the agency shall ensure that effective bilingual services are provided. Thisrequirement may be met through utilization of paid interpreters, qualified bilingualemployees, qualified employees of other agencies or community resources.

.16 Applicants/recipients may provide their own interpreter; however, the agency shall notrequire them to do so. Only under extenuating circumstances or at the specific request ofthe applicant/recipient shall an agency allow a minor (under the age of 18 years) to at as aninterpreter.

.2 Forms and other written material required for the provision of aid or services shall be availableand offered to the applicant/recipient in the individual's primary language when such forms andother written material are provided by SDSS. When such forms and other written materialcontain spaces (other than "for agency use only") in which the agency is to insert information,this inserted information shall also be in the individual's primary language.

.3 Each agency shall ensure that administrative practices do not have the effect of denying non-English-speaking and handicapped persons equal access to and participation in the availableprograms.


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.4 Auxiliary Aids

An agency shall provide auxiliary aids to persons with impaired hearing, speech, vision ormanual skills where necessary to afford such persons an equal opportunity to benefit from aids orservices. Auxiliary aids may include brailled and taped material, interpreters, teletypewritingmachines and other effective aids for persons with impaired hearing, speech, vision or manualskills. Compliance with this section can be accomplished through use of volunteer services fromcommunity organizations and individuals.

.5 Program Accessibility

.51 Each agency, with instructions and assistance provided by the Department of SocialServices, shall evaluate its practices and policies to ensure they do not discriminate on thebasis of handicap.

.52 The agency shall ensure that each program is readily accessible to handicapped persons.

.53 In choosing available methods for meeting the requirements of this section, the agency shallgive priority to those methods that offer programs and activities to handicapped persons inthe most integrated setting appropriate.

.54 In the event that structural modifications are required to provide program accessibility, theyshall conform to accessibility standards approved by the Office of the State Architect,pursuant to Title XXIV of the California Administrative Code.

.55 Where structural modifications are not practical, the agency shall provide services at analternate accessible site.

21-116 DOCUMENTATION OF APPLICANT/RECIPIENT CASE RECORDS

.1 Each agency shall maintain case record documentation in sufficient detail to permit a reviewer todetermine the agency's compliance with the requirements of Division 21.

.2 Each agency shall ensure that case record documentation identifies the applicant's/recipient'sethnic origin and primary language in accordance with Section 21-201.21. In those cases wherethe applicant/recipient is non-English speaking, the agency shall:

.21 Document the individual's acceptance or refusal of forms or other written material offeredin the individual's primary language (HANDBOOK: see Section 21-115.2)].

.22 Document the method used to provide bilingual services, e.g., assigned worker is bilingual,other bilingual employee acted as interpreter, volunteer interpreter, client providedinterpreter.


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21-117 STAFF DEVELOPMENT AND TRAINING

.1 Each public contact employee shall receive training in the requirements of Division XXI. Theserequirements of Division XXI shall be incorporated into the content of the agency's orientationand continuing training programs. This shall include familiarization with the discriminationcomplaint process. The Department of Social Services will provide program guidelines andtechnical assistance upon request.

.2 Each agency shall develop and conduct cultural awareness training programs for all public contactemployees. Cultural awareness training shall pertain to specific cultural characteristics in orderto ensure equal delivery of services, and when possible shall involve community groups and/orrepresentatives in the cultural awareness training presentations.

.3 Appropriate agency staff shall be instructed in the investigation of discrimination complaints.

21-201 COMPLIANCE PROCEDURES AND REPORTING

.1 Assignment of Resources to Implement Requirements of This Division

Responsibility for the implementation of nondiscrimination requirements shall be centralizedwithin each agency. Each agency shall designate an employee as the Civil Rights Coordinator,and shall allocate adequate personnel and resources to implement the provisions of this divisionand ensure nondiscrimination in the delivery of services. Methods and staff used to meetDivision 21 requirements may vary from county to county. To determine agency compliane, thefollowing factors will be considered:

.11 Level and quantity of personnel assigned to activities related to this division.

.12 Comparison of the civil rights unit's workload, actual or anticipated, to the workload ofother administrative units.

.13 Extent to which the existence and responsibilities of the civil rights unit has been publicizedwithin the agency and to the public.

.14 Comparison of physical space and equipment assigned to civil rights personnel with thatassigned to other offices of similar level in the agency.

.2 Compliance Reports

Each agency shall keep timely and accurate compliance records. This information shall besubmitted to the Department of Social Services whenever and in such form as the Departmentmay determine necessary.


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.21 Each agency shall collect primary language and ethnic origin data by district offices in allAFDC, nonassistance food stamps and social services cases. This data shall be collectedfor each head of household or, in social services cases, each primary recipient.

.211 Ethnic origin and primary language shall be determined by the applicant/recipientcompleting the appropriate section of the application forms. Should he/she declineto make a self-declaration, the worker will make a visual determination and recordthe information in the appropriate place on the form.

.212 Each agency shall submit this information by countywide total to SDSS annually.Source data substantiating the compliance report is to be maintained by districtoffice.

.22 County Civil Rights Plans

All county welfare departments shall submit to the Department of Social Services an initialCivil Rights Plan and subsequent annual updates. Each plan shall function as a guide indeveloping the agency's policy of providing equal delivery of services. The Civil RightsPlan and updates will be in such format and will contain such information as theDepartment of Social Services may determine necessary.

.3 Contractor and Vendor Compliance

Contractors, vendors, consultants and other providers of service who receive federal or stateassistance through the Department of Social Services or through agencies covered by theseregulations shall comply with nondiscrimination requirements of this division.

In addition, written assurances of nondiscrimination in employment practices shall be required.Discriminatory employment practices prohibited in Section 21-109.3 are fully applicable to allvendors, contractors, consultants and other providers of service.

21-203 APPLICANT/RECIPIENT COMPLAINTS OF DISCRIMINATORYTREATMENT

Agencies are responsible for investigating discrimination complaints made by applicants/recipients orby their authorized representatives, and for investigating complaints remanded by the State Departmentof Social Services, U.S. Health and Human Services (HHS) or the U.S. Department of Agriculture(USDA).


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An applicant/recipient or his/her authorized representative may file a complaint of discrimination withthe state or local agency involved or directly with the appropriate agency of the federal government.Information concerning the complaint process shall be available and shall include procedures for filingcomplaints or appeals with the State Department of Social Services, U.S. Health and Human Servicesor the U.S. Department of Agriculture. The complaint must be received not later than 180 days fromthe date of the alleged discriminatory act unless the filing date is extended by the Department of SocialServices or the responsible federal agency.

.1 Complainant's Right to a State Hearing (Fair Hearing)

This regulation does not limit or restrict a complainant's right to request a state hearing inaccordance with Division 22. Should the complaint involve, in addition to allegations ofdiscriminatory treatment, program issues may be the subject of a state hearing, it will be theagency's responsibility to advise the complainant of his/her right to a state hearing and thenecessity to request such a hearing within 90 days as prescribed in Section 22-009, in addition tothe filing of a complaint of discriminatory treatment. The complainant shall also be advised ofthe 10-day limitation for filing to receive aid paid pending.

.11 Should a complaint of discrimination arise during a state hearing, the Hearing Office shallremand the complaint to the SDSS Civil Rights Bureau to be handled in accordance withthese regulations.

.12 The right to a state hearing on an issue of discrimination is reserved pending completion ofthe county investigation and report and any independent investigation by the Department ofSocial Services.

.2 Procedures for Processing Complaints

All complaints of discrimination will be addressed in accordance with the following procedures:

.21 The CWD shall maintain a control log in which all complaints of discrimination are enteredin alphabetical order by the complainant's last name. At a minimum the log shall provide:

.211 Complainant's name.

.212 Date complaint was received.

.213 SDSS/CRB case number, if any.

.214 Program(s) involved.

.215 Basis of discrimination: age, race, sex, etc.

.216 Resolution: early resolution, CWD investigation, withdrawn.


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.217 Decision: discrimination, no discrimination.

.22 A complaint of discrimination shall be filed either verbally or in writing.

.221 The CWD shall be permitted to ask the complainant to fill out a complaint form butshall not make it a condition of filing a complaint.

.222 The CWD shall accept complaints of discrimination filed anonymously.

.23 The CWD/SDSS will first attempt an early resolution by conferring with the partiesinvolved.

.24 If a resolution cannot be reached, an investigation will be conducted (see 21-203.31).

.25 Within ten days of receipt of the complaint, the CWD/SDSS must inform the complainantin writing that an investigation will be conducted.

.26 For those complaints requiring investigation by the CWD, the investigation, including anyattempted early resolution, must be completed within 30 calendar days following theacknowledgement of the complaint. Within ten working days following the completion ofthe investigation, the CWD shall:

.261 inform the complainant in writing of the results of the investigation, clearly statingthe basis for the decision, and

.262 forward a complete copy of the investigation report to SDSS.

.27 The CWD shall inform the complainant of the right to appeal a CWD decision to SDSS orthe appropriate federal agency within 30 calendar days of the date on which the CWDmails, or otherwise provides the complainant with the results of the investigation. SDSSshall inform the complainant of the right to similarly appeal an SDSS decision to theappropriate agency.

.271 A CWD/SDSS decision resulting from a complaint based on race, color, nationalorigin, political affiliation, religion, sex, age or handicap may be appealed to theUnited States Department of Agriculture (USDA) if the complaint involves theFood Stamp Program.

.272 A CWD/SDSS decision resulting from a complaint based on race, color, nationalorigin, age or handicap may be appealed to the United States Department of Healthand Human Services (HHS) for all other federally assisted programs.


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.28 Nothing in these regulations shall preclude a complainant's pursuing remedies through civilproceedings.

.3 Procedures for Investigation Complaints

In order to maintain consistency in the conduct of investigations, the following procedures shallapply.

.31 The CWD/SDSS shall designate an employee to conduct investigations. In no case shall anemployee be assigned to investigate a complaint involving actions taken by him/her or byan employee under his/her immediate supervision, or where that designated employee'sresponsibilities in another program or capacity within CWD/SDSS may result in a conflictof interest.

.32 Interview with Complainant

When scheduling an interview with the complainant, the complainant shall be advised that arepresentative or counsel may be present at the interview.

.321 Prior to beginning the interview, the person assigned to investigate the case shallexplain confidentiality requirements, and make reasonable efforts to ensure that thecomplainant is able to communicate effectively, using interpreters, readers, etc., ifnecessary. The following information shall be obtained during the interview:

(a) Complainant's name, case number, address and telephone.

(b) Names of individuals responsible for the action, decision or conditionalleged to be discriminatory.

(c) Date and place of alleged discriminatory treatment.

(d) Discriminatory criterion (race, sex, handicap, etc.).

(e) Nature of the action, decision, or conditions of the alleged discrimination.

(f) Information known to the complainant in support of his/her allegation.

(g) Possible witnesses whom the complainant wishes to have interviewed.

(h) Other information specific to the complaint.


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(i) Any indications of reprisal, intimidation or harassment as a result of thecomplaint.

(j) Relief sought by the complainant.

.33 Interview with the employee alleged to have acted in a discriminatory manner.

When scheduling an interview with the employee, the employee shall be advised of theright to have a representative or counsel present.

.331 The investigator should identify the complainant and describe the nature of thecomplaint. The employee's statement should be taken concerning the complaintissues. The employee should be advised that such statements will be available tothe complainant as part of the investigation.

.34 Review of Issues Specific to the Complaint

In reviewing the issues involved in the applicant/recipient complaint, the investigator shall:

a. Review Division 21 regulations affecting the issues in the complaint and, ifnecessary, obtain clarification from the Department of Social Services.

b. Review complaint documents concerning the discrimination issues.

c. Interview witnesses as indicated by circumstances or the nature of the allegation.

.35 Investigation of the General Environment

In evaluating the general environment in which the alleged discriminatory action occurred,the investigator may:

a. Select and review cases to compare the treatment of members of the same race,handicap or ethnic group, etc., with cases selected from the general welfarepopulation.

b. Compare the treatment of recipients by the individual who allegedly discriminatedwith the treatment provided by other employees for a similar group.

c. Interview the employee alleged to have discriminated.

d. Interview the supervisor of the employee named in the complaint and survey thegeneral environment in which the complaint arose. Record details which mayindicate needed corrective action or exonerate the employees alleged to havediscriminated.


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e. Review other supporting documents as appropriate.

.4 Report of Investigation

The investigation report shall address all issues raised by the complainant. Where there isconflicting evidence, further investigations should be conducted. If the conflict cannot beresolved, the investigator shall ensure that such issues are fairly represented in the report.

.5 Retaliatory Acts Prohibited

No official or employee shall intimidate, threaten, coerce or discriminate against any individualfor the purpose of interfering with any right or privilege secured by these regulations or becausehe or she has made a complaint, testified, assisted or participated in any manner in anyinvestigation, proceeding or hearing.

.6 Confidentiality of Information

The identity of any complainant and the employee or offical alleged to have discriminated must beconfidential, except to the extent necessary to carry out the complaint process including theconduct of any investigation, hearing, or judicial proceeding arising thereunder. (See Division19.)

.7 Retention

The agency shall retain the written complaint, a record of its disposition and the investigationreport required by Section 21-203.24 for a minimum of three (3) years from final disposition.All such records shall be maintained in a secure location with access limited to personnel assignedto the Civil Rights Program.

21-205 CORRECTIVE ACTION

.1 Corrective action may be required as a result of an investigation, compliance review, or otherdetermination by SDSS that an agency is not in compliance with the requirements of Division 21.

Such corrective action shall accomplish the following:

.11 Resolution of the problem which initiated, or was discovered as a result of an investigationor compliance review.

.12 Development of a policy or plan to ensure that problems of a similar nature will not recur.


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.2 An agency shall implement corrective action determined necessary as a result of an investigation,compliance review, or other determination within a reasonable time, as determined by SDSS afterconferring with the agency. In no event shall initial implementation be extended beyond 60 days.

.3 Sanctions for Noncompliance

Should an agency fail to comply with the requirements imposed by Division 21 or with applicablesections of state or federal law, fiscal sanctions or other legal remedies may be invoked inaccordance with Welfare and Institutions Code Section 10605, or Government Code Section11135-39, or the issue may be referred to the appropriate federal agency for further complianceaction.

The Department of Social Services may also initiate procedures which include, but are not limitedto:

.31 Action to suspend or terminate agencies from further program participation.

.32 Recommending appropriate sanctions to other state or local agencies whose jurisdiction isinvolved.

23-353 RETENTION PERIODS

The general statute in California (Welfare and Institutions Code Section 10851) requires that publicsocial service records (aid and services) be maintained for three years from the last date of aid orservices. It also provides that certain records in active cases may be destroyed after three years.Federal law (45 CFR 74.20) requires that case records which provide the basis for fiscal claims are tobe retained for three years, starting on the day the state submits the last expenditure report to HHS forthe period. In the case of supplemental expenditure reports this might require retention for a muchlonger period than three years.

Under these requirements, counties shall insure that records needed to prove eligibility may not bedestroyed unless three years have passed from the date the last state expenditure report was made toHHS for the period in which such records were last used to document eligibility.

.1 Case Narratives

The Board of Supervisors may authorize destruction within the rules stated above.

.2 Other Case Documents

The Board of Supervisors may authorize destruction within the rules stated above. However,documents which were not necessary to show eligibility may, with board authorization, bedestroyed when they are over three years old.


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.3 Permanent records, as specified in Section 23-351.13, shall be retained until all records for thatparticular case are destroyed.

.4 Warrant registers must be retained for fifteen years. County welfare warrants must be retainedfor five years.

.5 Certain Special Circumstances records shall be retained as outlined in Sections 23-356.2 and .3.

.6 Alternate Retention Period

Unless a county has made or intends to make a supplemental expenditure report concerningspecific cases which it wishes to purge or destroy, it may consider the retention period to be 3-1/2years from the date a document was last needed to document eligibility or 3-1/2 years from thedate the case was closed. Using this retention period will insure that the records are retained atleast 3 years beyond the filing of the final state expenditure report.

.7 Duplicates

Copies of records need not be retained unless the originals are not available.

.8 Records Related to Civil or Criminal Actions

Notwithstanding the above, if a civil or criminal action is commenced before the expiration ofthe retention period, no portion of the case record of such person shall be destroyed until suchaction is terminated.

.9 Potential Future Collection of IV-A Cases

The county shall retain Form ABCD 278L or its equivalent for a period of ten years followingcase closure in all cases where notification to do so by the child support agency has beenreceived.

40-107 COUNTY RESPONSIBILITY (Continued)

.6 Provision of Informational Materials

.61 Informational materials required by SDSS shall either be given to applicants during theapplication interview or mailed with Notice of Action forms approving or restoring AFDCgrants or Certifications for Medical Assistance (see 40-171.21).


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.611 For AFDC-FG/U, brochures describing benefits available under the Child Healthand Disability Prevention (CHDP) program and how and where these benefits areprovided within the county shall be given to the applicant during the applicationinterview. Provision of CHDP informational materials shall be documented bynotation upon the CA 2 form.

.612 For AFDC-FC, the placement worker shall assess the applicant child's need forCHDP services, and shall provide information to the foster care provider and/or, asappropriate, to the child. Provision of CHDP informational material shall bedocumented in the service case record, as specified in Section 30-209.66.

.62 The CWD shall inform all AFDC applicants/recipients of the availability of family planningservices. For those AFDC applicants/recipients who voluntarily request such services, theCWD shall provide information and referral for family planning services. (See Section 40-131.3(h).)

.621 The CWD shall designate personnel who shall:

(a) Be generally knowledgeable in the area of family planning.

(b) Be responsible for the coordination of family planning services activitieswithin the CWD and with family planning resources outside of the CWD.

.622 The CWD shall display in waiting rooms and make available to AFDCapplicants/recipients, copies of notices, pamphlets and other written materialswhich contain information concerning the availability of family planning services.

.623 The CWD shall ensure that written notice of the availability of family planningservices is sent to: (1) applicants for AFDC upon denial of AFDC benefits; or(2) all AFDC recipients upon termination of AFDC benefits.

45-203 STATE AFDC-FC PROGRAM (Continued)

.6 Special Provisions

.61 Children with Nonrelated Legal Guardians

.611 A child living with a nonrelated legal guardian shall be eligible for AFDC-FCprovided:

(a) All general AFDC-FC requirements specified in 45-201.1 through 45-201.3are met.


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(b) The state requirements specified in .1 and .4 above are met.

(c) The legal guardian cooperates with the county welfare department in itsprovision of the social services specified in Section 45-201.4. When thelegal guardian is not cooperating, the provisions of Section 45-302.241shall apply.

.612 The county welfare department shall provide the social services specified in Section45-201.4.

.62 (Repealed by Manual Letter No. 84-65.)

.63 Children in Voluntary Placement

.631 After January 1, 1983, the decision regarding the need for a child's voluntaryplacement shall be made by the county welfare department, a licensed public orprivate adoption agency, or the department and shall not be delegated to any otherindividual or agency.

.632 Time Limitations

Except as provided in (a), (b), and (c) below, AFDC-FC funding for voluntarilyplaced children shall be available for a maximum of six months for each childprovided all other eligibility requirements continue to be met. The six monthsneed not be one continuous voluntary placement. If more than one placementoccurs, the aggregate AFDC-FC payments for all the voluntary placements of thesame child shall not exceed a total of six months.

(a) If placed voluntarily prior to January 1, 1981, the child shall be eligible forAFDC-FC payments provided all other eligibility requirements continue tobe met.

(b) If placed voluntarily on or after January 1, 1981 and before January 1,1982, the child may continue to receive AFDC-FC payments untilJanuary 1, 1982, provided all other eligibility requirements continue to bemet. After January 1, 1982, the provisions of .632 above shall apply.

(c) If the authority for placement changes from a voluntary placement toanother authority for placement specified in Sections 45-202.4 or 45-203.31, the six-month time limitation no longer applies.


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42 UNITED STATES CODE (USC)

675. Definitions

As used in this part or part B of this subchapter:

(1) The term "case plan" means a written document which includes at least the following:

(A) A description of the type of home or institution in which a child is to be placed, including adiscussion of the appropriateness of the placement and how the agency which is responsiblefor the child plans to carry out the voluntary placement agreement entered into or judicialdetermination made with respect to the child in accordance with section 672(a)(1) of thistitle.

(B) A plan for assuring that the child receives proper care and that services are provided to theparents, child, and foster parents in order to improve the conditions in the parents' home,facilitate return of the child to his own home or the permanent placement of the child, andaddress the needs of the child while in foster care, including a discussion of theappropriateness of the services that have been provided to the child under the plan.

(C) To the extent available and accessible, the health and education records of the child,including--

(i) the names and addresses of the child's health and educational providers;

(ii) the child's grade level performance;

(iii) the child's school record;

(iv) assurances that the child's placement in foster care takes into account proximity tothe school in which the child is enrolled at the time of placement;

(v) a record of the child's immunizations;

(vi) the child's known medical problems;

(vii) the child's medications; and

(viii) any other relevant health and education information concerning the childdetermined to be appropriate by the State agency.


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Where appropriate, for a child age 16 or over, the case plan must also include a writtendescription of the programs and services which will help such child prepare for thetransition from foster care to independent living.

(2) The term "parents" means biological or adoptive parents or legal guardians, as determined byapplicable State law.

(3) The term "adoption assistance agreement" means a written agreement, binding on the parties tothe agreement, between the State agency, other relevant agencies, and the prospective adoptiveparents of a minor child which at a minimum (A) specifies the nature and amount of anypayments, services, and assistance to be provided under such agreement, and (B) stipulates thatthe agreement shall remain in effect regardless of the State of which the adoptive parents areresidents at any given time. The agreement shall contain provisions for the protection (under aninterstate compact approved by the Secretary or otherwise) of the interests of the child in caseswhere the adoptive parents and child move to another State while the agreement is effective.

(4) (A) The term "foster care maintenance payments" means payments to cover the cost of (and thecost of providing) food, clothing, shelter, daily supervision, school supplies, a child'spersonal incidentals, liability insurance with respect to a child, and reasonable travel to thechild's home for visitation. In the case of institutional care, such term shall include thereasonable costs of administration and operation of such institution as are necessarilyrequired to provide the items described in the preceding sentence.

(B) In cases where--

(i) a child placed in a foster family home or childcare institution is the parent of a sonor daughter who is in the same home or institution, and

(ii) payments described in subparagraph (A) are being made under this part withrespect to such child,

the foster care maintenance payments made with respect to such child as otherwisedetermined under subparagraph (A) shall also include such amounts as may benecessary to cover the cost of the items described in that subparagraph with respectto such son or daughter.

(5) The term "case review system" means a procedure for assuring that--

(A) each child has a case plan designed to achieve placement in the least restrictive (most familylike) setting available and in close proximity to the parents' home, consistent with the bestinterest and special needs of the child,


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(B) the status of each child is reviewed periodically but no less frequently than once every sixmonths by either a court or by administrative review (as defined in paragraph (6)) in orderto determine the continuing necessity for and appropriateness of the placement, the extentof compliance with the case plan, and the extent of progress which has been made towardalleviating or mitigating the causes necessitating placement in foster care, and to project alikely date by which the child may be returned to the home or placed for adoption or legalguardianship,

(C) with respect to each such child, procedural safeguards will be applied, among other things,to assure each child in foster care under the supervision of the State of a dispositionalhearing to be held, in a family or juvenile court or another court (including a tribal court)of competent jurisdiction, or by an administrative body appointed or approved by the court,no later than eighteen months after the original placement (and periodically thereafterduring the continuation of foster care), which hearing shall determine the future status ofthe child (including, but not limited to, whether the child should be returned to the parent,should be continued in foster care for a specified period, should be placed for adoption, orshould (because of the child's special needs or circumstances) be continued in foster care ona permanent or long-term basis) and, in the case of a child who has attained age 16, theservices needed to assist the child to make the transition from foster care to independentliving; and procedural safeguards shall also be applied with respect to parental rightspertaining to the removal of the child from the home of his parents, to a change in thechild's placement, and to any determination affecting visitation privileges of parents; and

(D) a child's health and education record (as described in paragraph (1)(A) is reviewed andupdated, and supplied to the foster parent or foster care provider with whom the child isplaced, at the time of each placement of the child in foster care.

(6) The term "administrative review" means a review open to the participation of the parents of thechild, conducted by a panel of appropriate persons at least one of whom is not responsible for thecase management of, or the delivery of services to, either the child or the parents who are thesubject of the review.


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677. Independent living initiatives

(a) Payments for fiscal years 1987 through 1992; purpose; entitlement of States

(1) Payments shall be made in accordance with this section for the purpose of assisting Statesand localities in establishing and carrying out programs designed to assist childrendescribed in paragraph (2) who have attained age 16 in making the transition from fostercare to independent living. Any State which provides for the establishment and carryingout of one or more such programs in accordance with this section for a fiscal year shall beentitled to receive payments under this section for such fiscal year, in an amountdetermined under subsection (e) of this section. Such payments shall be made only for thefiscal years 1987 through 1992.

(2) A program established and carried out under paragraph (1)--

(A) shall be designed to assist children with respect to whom foster care maintenancepayments are being made by the State under this part,

(B) may at the option of the State also include any or all other children in foster careunder the responsibility of the State, and

(C) may at the option of the State also include any child who has not attained age 21 towhom foster care maintenance payments were previously made by a State underthis part and whose payments were discontinued on or after the date such childattained age 16, and any child who previously was in foster care described insubparagraph (B) and for whom such care was discontinued on or after the datesuch child attained age 16; and a written transitional independent living plan of thetype described in subsection (d)(6) of this section shall be developed for such childas a part of such program.

(b) Administration or supervision of programs by State agency; payments to State to conduct andprovide activities and services

The State agency administering or supervising the administration of the State's programs underthis part shall be responsible for administering or supervising the administration of the State'sprograms described in subsection (a) of this section. Payment under this section shall be made tothe State, and shall be used for the purpose of conducting and providing in accordance with thissection (directly or under contracts with local governmental entities or private non-profitorganizations) the activities and services required to carry out the program or programs involved.

(c) Description of program; assurances of effective and efficient operation of program and ofcompliance; time for submission to Secretary


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In order for a State to receive payments under this section for any fiscal year, the State agencymust submit to the Secretary, in such manner and form as the Secretary may prescribe, adescription of the program together with satisfactory assurances that the program will be operatedin an effective and efficient manner and will otherwise meet the requirements of this section. Inthe case of payments for fiscal year 1987, such description and assurances must be submittedwithin 90 days after the Secretary promulgates regulations as required under subsection (i) of thissection, and in the case of payments for any of the fiscal years 1988 through 1992, suchdescription and assurances must be submitted prior to February 1 of such fiscal year.

(d) Objective of programs; programs to help participating individuals live independently upon leavingfoster care; types of programs

In carrying out the purpose described in subsection (a) of this section, it shall be the objective ofeach program established under this section to help the individuals participating in such programto prepare to live independently upon leaving foster care. Such programs may include (subject tothe availability of funds) programs to--

(1) enable participants to seek a high school diploma or its equivalent or to take part inappropriate vocational training;

(2) provide training in daily living skills, budgeting, locating and maintaining housing, andcareer planning;

(3) provide for individual and group counseling;

(4) integrate and coordinate services otherwise available to participants;

(5) provide for the establishment of outreach programs designed to attract individuals who areeligible to participate in the program;

(6) provide each participant a written transitional independent living plan which shall be basedon an assessment of his needs, and which shall be incorporated into his case plan, asdescribed in section 675(1) of this title; and

(7) provide participants with other services and assistance designed to improve their transitionto independent living.

(e) Formula for determination of State entitlement for fiscal years 1987 through 1992 for transitionalindependent living programs; reallocation of amounts to other States; amounts in addition toamounts under other law


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(1) (A) The basic amount to which a State shall be entitled under section 674(a)(4) of thistitle for each of the fiscal years 1987 through 1992 shall be an amount which bearsthe same ratio to the basic ceiling for such fiscal year as such State's averagenumber of children receiving foster care maintenance payments under this part infiscal year 1984 bears to the total of the average number of children receiving suchpayments under this part for all States for fiscal year 1984.

(B) The maximum additional amount to which a State shall be entitled under section674(a)(4) of this title for fiscal years 1991 and 1992 shall be an amount which bearsthe same ratio to the additional ceiling for such fiscal year as the basic amount ofsuch State bears to $45,000,000.

(C) As used in this section:

(i) The term "basic ceiling" means--

(I) For fiscal year 1990, $50,000,000; and

(II) for each fiscal year other than fiscal year 1990, $45,000,000.

(ii) The term "additional ceiling" means--

(I) for fiscal year 1991, $15,000,000; and

(II) for fiscal year 1992, $25,000,000.

(2) If any State does not apply for funds under this section for any fiscal year within the timeprovided in subsection (c) of this section, the funds to which such State would have beenentitled for such fiscal year shall be reallocated to one or more other States on the basis oftheir relative need for additional payments under this section (as determined by theSecretary).

(3) Any amounts payable to States under this section shall be in addition to amounts payable toStates under subsections (a)(1), (a)(2), and (a)(3) of section 674 of this title, and shallsupplement and not replace any other funds which may be available for the same generalpurposes in the localities involved. Amounts payable under this section may not be usedfor the provision of room or board.

(f) Payments; restrictions; estimation and adjustment; time of expenditure

Payments made to a State under this section for any fiscal year--

(1) shall be used only for the specific purposes described in this section;


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(2) may be made on an estimated basis in advance of the determination of the exact amount,with appropriate subsequent adjustments to take account of any error in the estimates; and

(3) shall be expended by such State in such fiscal year or in the succeeding fiscal year.

Notwithstanding paragraph (3), payments made to a State under this section for the fiscalyear 1987 and unobligated may be expended by such State in the fiscal year 1989.

(g) Report by States to Secretary; evaluation by Secretary and report to Congress

(1) Not later than the first January 1 following the end of each fiscal year, each State shallsubmit to the Secretary a report on the programs carried out during such fiscal year withthe amounts received under this section. Such report--

(A) shall be in such form and contain such information as may be necessary to providean accurate description of such activities, to provide a complete record of thepurposes for which the funds were spent, and to indicate the extent to which theexpenditure of such funds succeeded in accomplishing the purpose described insubsection (a) of this section; and

(B) shall specifically contain such information as the Secretary may require in order tocarry out the evaluation under paragraph (2).

(2) (A) Not later than July 1, 1988, the Secretary shall submit an interim report on theactivities carried out under this section.

(B) Not later than March 1, 1989, the Secretary, on the basis of the reports submittedby States under paragraph (1) for the fiscal years 1987 and 1988, and on the basisof such additional information as the Secretary may obtain or develop, shallevaluate the use by States of the payments made available under this section forsuch fiscal year with respect to the purpose of this section, with the objective ofappraising the achievements of the programs for which such payments were madeavailable, and developing comprehensive information and data on the basis ofwhich decisions can be made with respect to the improvement of such programs andthe necessity for providing further payments in subsequent years. The Secretaryshall report such evaluation to the Congress. As a part of such evaluation, theSecretary shall include, at a minimum, a detailed overall description of the numberand characteristics of the individuals served by the programs, the various kinds ofactivities conducted and services provided and the results achieved, and shall setforth in detail findings and comments with respect to the various State programsand a statement of plans and recommendations for the future.


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(h) Payments and services not considered income or resources in determining eligibility for aid andservices to needy families with children or for foster care and adoption assistance

Notwithstanding any other provision of this subchapter, payments made and services provided toparticipants in a program under this section, as a direct consequence of their participation in suchprogram, shall not be considered as income or resources for purposes of determining eligibility(or the eligibility of any other persons) for aid under the State's plan approved under section 602or 671 of this title, or for purposes of determining the level of such aid.


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45 CODE OF FEDERAL REGULATIONS

233.120 Emergency assistance to needy families with children.

(a) Requirements for State plans. A State plan under Title IV, Part A, of the Social Security Act,providing for emergency assistance to needy families with children must:

(1) Specify the eligibility conditions imposed for the receipt of emergency assistance. Theseconditions may be more liberal than those applicable to other parts of the plan. (Seeparagraph (b)(1) of this section for scope of Federal financial participation.)

(2) Specify if migrant workers with families will be included and, if emergency assistance willnot be available to them Statewide, the part or parts of the State in which it will beprovided.

(3) Specify the emergency needs that will be met, whether mass feeding or clothing distributionare included, and the methods of providing payments, medical care, and other remedialcare.

(4) Specify which of the following services will be provided: Information, referral,counseling, securing family shelter, child care, legal services, and any other services thatmeet needs attributable to the emergency or unusual crisis situations.

(5) Provide that emergency assistance will be given forthwith.

(b) Federal financial participation. Beginning with the effective date of approval of the amendmentto the State plan for AFDC which provides for emergency assistance to needy families withchildren pursuant to section 406(e) of the Act:

(1) Federal financial participation is available for emergency assistance to or on behalf of aneedy child under the age of 21 and any other member of the household in which he isliving if:

(i) Such child is (or, within 6 months prior to the month in which such assistance isrequested, has been) living with any of the relatives specified in section 406(a)(1) ofthe Act in a place of residence maintained by one or more of such relatives as his ortheir own home,

(ii) Such child is without resources immediately accessible to meet his needs,

CALIFORNIA-DSS-MANUAL-CWSMANUAL LETTER NO. CWS-94-02 Effective 5/9/94

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(iii) The emergency assistance is necessary to avoid destitution of such child or toprovide living arrangements for him in a home, and

(iv) His destitution or need for living arrangements did not arise because he or suchrelative refused without good cause to accept employment or training foremployment.

(2) The rate of Federal financial participation in expenditures during a quarter as emergencyassistance in accordance with the provisions of an approved State plan is 50 percent of thetotal amount of such expenditures which are (i) in the form of money payments, paymentsin kind, or such other payments as the State agency specifies, including loans and vendorpayments, or medical or remedial care recognized under State law, with respect to or onbehalf of individuals described in paragraph (b)(1) of this section; (ii) for the followingservices provided to individuals described in paragraph (b)(1) of this section, directly bystaff of the agency, or by purchase from other sources: Information, referral, counseling,securing family shelter, child care, legal services, and any other services that meet needsattributable to the emergency or unusual crisis situations.

(3) Federal matching is available only for emergency assistance which the State authorizesduring one period of 30 consecutive days in any 12 consecutive months, including paymentswhich are to meet needs which arose before such 30-day period or are for such needs asrent which extend beyond the 30-day period. Another condition for Federal participation isthat the State has a reasonable method of determining the value of goods in kind or servicesprovided for emergency assistance.

1340.15 Services and treatment for disabled infants.

(a) Purpose. The regulations in this section implement certain provisions of the Child AbuseAmendments of 1984, including section 4(b)(2)(K) of the Child Abuse Prevention and TreatmentAct governing the protection and care of disabled infants with life-threatening conditions.

(b) Definitions.

(1) The term "medical neglect" means the failure to provide adequate medical care in thecontext of the definitions of "child abuse and neglect" in section 3 of the Act and Section1340.2(d) of this part. The term "medical neglect" includes, but is not limited to, thewithholding of medically indicated treatment from a disabled infant with a life-threateningcondition.


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(2) The term "withholding of medically indicated treatment" means the failure to respond to theinfant's life-threatening conditions by providing treatment (including appropriate nutrition,hydration, and medication) which, in the treating physician's (or physicians') reasonablemedical judgement, will be most likely to be effective in ameliorating or correcting all suchconditions, except that the term does not include the failure to provide treatment (other thanappropriate nutrition, hydration, or medication) to an infant when, in the treatingphysician's (or physicians') reasonable medical judgment any of the followingcircumstances apply:

(i) The infant is chronically and irreversibly comatose:

(ii) The provision of such treatment would merely prolong dying, not be effective inameliorating or correcting all of the infant's life-threatening conditions, orotherwise be futile in terms of the survival of the infant; or


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(iii) The provision of such treatment would be virtually futile in terms of the survival ofthe infant and the treatment itself under such circumstances would be inhumane.

(3) Following are definitions of terms used in paragraph (b)(2) of this section:

(i) The term "infant" means an infant less than one year of age. The reference to lessthan one year of age shall not be construed to imply that treatment should bechanged or discontinued when an infant reaches one year of age, or to affect orlimit any existing protections available under State laws regarding medical neglectof children over one year of age. In addition to their applicability to infants lessthan one year of age, the standards set forth in paragraph (b)(2) of this sectionwould be consulted thoroughly in the evaluation of any issue of medical neglectinvolving an infant older than one year of age who has been continuouslyhospitalized since birth, who was born extremely prematurely, or who has a long-term disability.

(ii) The term "reasonable medical judgment" means a medical judgment that would bemade by a reasonably prudent physician, knowledgeable about the case and thetreatment possibilities with respect to the medical conditions involved.

(c) Eligibility Requirements.

(1) In addition to the other eligibility requirements set forth in this Part, to qualify for a grantunder this section, a State must have programs, procedures, or both, in place within theState's child protective service system for the purpose of responding to the reporting ofmedical neglect, including instances of withholding of medically indicated treatment fromdisabled infants with life-threatening conditions.

(2) These programs and/or procedures must provide for:

(i) Coordination and consultation with individuals designated by and within appropriatehealth care facilities:

(ii) Prompt notification by individuals designated by and within appropriate health carefacilities of cases of suspected medical neglect (including instances of thewithholding of medically indicated treatment from disabled infants with life-threatening conditions); and


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(iii) The authority, under State law, for the State child protective service system topursue any legal remedies, including the authority to initiate legal proceedings in acourt of competent jurisdiction, as may be necessary to prevent the withholding ofmedically indicated treatment from disabled infants with life-threatening conditions.

(3) The programs and/or procedures must specify that the child protective service system willpromptly contact each health care facility to obtain the name, title, and telephone number ofthe individual(s) designated by such facility for the purpose of the coordination,consultation, and notification activities identified in paragraph (c)(2) of this section, andwill at least annually recontact each health care facility to obtain any changes in thedesignations.

(4) These programs and/or procedures must be in writing and must conform with therequirements of section 4(b)(2) of the Act and Section 1340.14 of this part. In connectionwith the requirement of conformity with the requirements of section 4(b)(2) of the Act andSection 1340.14 of this part, the programs and/or procedures must specify the proceduresthe child protective services system will follow to obtain, in a manner consistent with Statelaw:

(i) Access to medical records and/or other pertinent information when such access isnecessary to assure an appropriate investigation of a report of medical neglect(including instances of withholding of medically indicated treatment from disabledinfants with life-threatening conditions); and

(ii) A court order for an independent medical examination of the infant, or otherwiseeffect such an examination in accordance with processes established under Statelaw, when necessary to assure an appropriate resolution of a report of medicalneglect (including instances of withholding of medically indicated treatment fromdisabled infants with life-threatening conditions).

(5) The eligibility requirements contained in this section shall be effective October 9, 1985.

(d) Documenting eligibility.

(1) In addition to the information and documentation required by and pursuant to Sections1340.12(b) and (c), each State must submit with its application for a grant sufficientinformation and documentation to permit the Commissioner to find that the State is incompliance with the eligibility requirements set forth in paragraph (c) of this section.


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(2) This information and documentation shall include:

(i) A copy of the written programs and/or procedures established by, and followedwithin, the State for the purpose of responding to the reporting of medical neglect,including instances of withholding of medically indicated treatment from disabledinfants with life-threatening conditions;

(ii) Documentation that the State has authority, under State law, for the State childprotective service system to pursue any legal remedies, including the authority toinitiate legal proceedings in a court of competent jurisdiction, as may be necessaryto prevent the withholding of medically indicated treatment from disabled infantswith life-threatening conditions. This documentation shall consist of:

(A) A copy of the applicable provisions of State statute(s); or

(B) A copy of the applicable provisions of State rules or regulations, along witha copy of the State statutory provisions that provide the authority for suchrules or regulations; or

(C) A copy of an official, numbered opinion of the Attorney General of theState that so provides, along with a copy of the applicable provisions of theState statute that provides a basis for the opinion, and a certification that theofficial opinion has been distributed to interested parties within the State, atleast including all hospitals; and

(iii) Such other information and documentation as the Commissioner may require.

(e) Regulatory construction.

(1) No provision of this section or part shall be construed to affect any right, protection,procedures, or requirement under 45 CFR Part 84, Nondiscrimination in the Basis ofHandicap in Programs and Activities Receiving or Benefiting from Federal FinancialAssistance.

(2) No provision of this section or part may be so construed as to authorize the Secretary orany other governmental entity to establish standards prescribing specific medical treatmentsfor specific conditions, except to the extent that such standards are authorized by other lawsor regulations.


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